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Brokers North American Securities Administrators Association

Fox Rothschild LLP

California Paves Way for Franchise Broker Registration and Disclosure Model

Fox Rothschild LLP on

Back in December 2022, we published a blog informing readers that guidance on franchise sales brokers and agents may be on the horizon. The North American Securities Administrators Association’s (“NASAA”) Franchise and...more

Fox Rothschild LLP

The 'New' M&A Broker-Dealer Exemption

Fox Rothschild LLP on

The bane of every start-up company is the never-ending quest to raise capital for its operations. Newly (and not so new) formed companies seemingly would do anything to raise funds. Over the course of many decades, these...more

DarrowEverett LLP

New M&A Broker Exemption: To Be Or Not To Be, That Is The Question

DarrowEverett LLP on

On March 29, 2023, a new exemption from SEC registration for brokers providing services in mergers and acquisitions (“M&A”) transactions officially went into effect. The exemption, outlined in Section 501 of the Consolidated...more

Fox Rothschild LLP

Is a National Program for Franchise Broker Registration Coming and Other Franchise Broker Tips & Takeaways

Fox Rothschild LLP on

I had the pleasure this year along with fellow franchise attorneys, Gerry Wells of Rita’s Franchise Company and Allan Hillman of Garcia & Milas, to present at the ABA Forum on Franchising Annual Meeting in San Diego. The...more

Pillsbury Winthrop Shaw Pittman LLP

Securities Law Guidance for Qualified Opportunity Funds (QOFs)

On July 15, 2019, the Securities and Exchange Commission (SEC) and the North American Securities Administrators Association (NASAA) staff issued a statement summarizing federal and state securities law considerations...more

Allen Matkins

NASAA Supports Regulatory Relief For M&A Brokers

Allen Matkins on

Last June, Congressman Bill Huizenga introduced H.R. 2274 which would amend the Securities Exchange Act of 1934 to provide for a notice-filing registration procedure for brokers performing services in connection with the...more

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